Personnel Hong Kong SFC License Details (ID 103198)

Personnel Hong Kong SFC License Details (ID 103198)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
BTIG Hong Kong Limited	RO	Dealing in securities	2009-01-15	2010-02-02
	Rep	Dealing in securities	2008-08-13	2009-01-15
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2007-04-10	2008-07-23
	Rep	Dealing in securities	2007-03-31	2008-07-23
	RO	Advising on securities	2003-07-25	2007-04-10
	RO	Dealing in securities	2003-07-17	2007-03-31
	Rep	Dealing in securities	2003-07-14	2003-07-17
UOB KAY HIAN ASIA LIMITED	RO	Advising on corporate finance	-	2003-07-09
	RO	Asset management	-	2003-07-09
	RO	Advising on securities	-	2005-10-18
	RO	Dealing in securities	-	2005-10-18